CCO (Chief Compliance Officer) Content

[32813] October 7, 2020 TO: ICI Members Derivatives Markets Advisory Committee SUBJECTS: Compliance Derivatives Investment Advisers Operations Trading and Markets RE: CFTC Adopts Amendments to Swap Data Reporting Requirements In September, the Commodity Futures Trading Commission...

[32792] September 30, 2020 TO: ICI Members Operations Committee Privacy Issues Working Group Small Funds Committee Transfer Agent Advisory Committee SUBJECTS: Compliance Privacy State Issues RE: California Extends Privacy Law Exclusion for Employee Information Until January 1, 2022 As...

[32790] September 29, 2020 TO: ICI Members Investment Company Directors ICI Global Members Accounting/Treasurers Committee Closed-End Investment Company Committee Equity Markets Advisory Committee ETF (Exchange-Traded Funds) Committee ETF Advisory Committee ICI Global Regulated Funds...

[32779] September 25, 2020 TO: ICI Members Investment Company Directors SUBJECTS: Closed-End Funds Compliance Disclosure Fund Governance Investment Advisers Operations Portfolio Oversight Transfer Agency RE: SEC Adopts Amendments to Shareholder Proposal Rule (Rule 14a-8) This week...

[32748] September 9, 2020 TO: ICI Members ICI Global Members SUBJECTS: Audit Committees Compliance Disclosure Fund Accounting & Financial Reporting Fund Governance Intermediary Oversight International/Global Investment Advisers Risk Oversight RE: President's Working Group Submits...

[32743] September 4, 2020 TO: ICI Members SEC Rules Committee SUBJECTS: Closed-End Funds Compliance Distribution RE: SEC Adopts Expanded Accredited Investor and Qualified Institutional Buyer Definitions The Securities and Exchange Commission recently updated the definitions of...

[32728] September 1, 2020 TO: ICI Members Investment Company Directors Broker/Dealer Advisory Committee Investment Adviser and Broker-Dealer Standards of Conduct Working Group Investment Advisers Committee Operations Committee Pension Committee SEC Rules Committee Transfer Agent...

[32714] August 27, 2020 TO: ICI Members ICI Global Members Derivatives Markets Advisory Committee ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee Securities Operations Subcommittee SUBJECTS: Compliance Derivatives International/Global Investment Advisers...

[32710] August 26, 2020 TO: ICI Members Disclosure Working Group Operations Committee SEC Rules Committee SUBJECTS: Compliance Disclosure Operations RE: SEC Proposes Rule to Promote the Reliability and Integrity of EDGAR Submissions On August 21, the Securities and Exchange Commission...

[32704] August 25, 2020 TO: ICI Global Members ESG Task Force (Global) EU ESG Disclosure Regulation Working Group EU Sustainable Finance Strategy Working Group ICI Global Regulated Funds Committee SUBJECTS: Compliance Disclosure Distribution ESG International/Global Investment...